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Hearing Notice - IN THE MATTER OF Michael Patrick White - Interim Consent Decision

CNW Group
·2 分鐘文章

TORONTO, Aug. 24, 2023 /CNW/ - Following a motion heard on August 2, 2023, in Toronto, Ontario, a hearing panel of the Investment Dealer Division of the Canadian Investment Regulatory Organization (CIRO) ordered the following in the matter of Michael Patrick White:

  1.  

The hearing panel's interim consent decision, dated August 10, 2023, setting out the accommodations at the hearing is available at:

Re White 2023 CIRO 10

The decision relates to a disciplinary proceeding initiated against Michael Patrick White, which alleges that Mr. White failed to use due diligence to ensure that his investment recommendations were suitable for certain clients. The Notice of Hearing and Statement of Allegations setting out the allegations are available at: www.iiroc.ca.

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All information about disciplinary proceedings relating to current and former member firms and individual registrants is available in the Enforcement section of the IIROC website for investment dealer disciplinary proceedings and the MFDA website for mutual fund dealer disciplinary proceedings.

Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by CIRO-regulated firms (Investment Dealer Division) is available free of charge through the AdvisorReport service. Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1-877-442-4322.

CIRO investigates possible misconduct by its member firms and individual registrants. It can bring disciplinary proceedings which may result in sanctions including fines, suspensions, permanent bars, expulsion from membership, or termination of rights and privileges for individuals and firms.

The Canadian Investment Regulatory Organization (CIRO) is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces. CIRO is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians' trust in financial regulation and the people managing their investments. For more information, visit www.ciro.ca.

SOURCE Canadian Investment Regulatory Organization (CIRO)

Cision
Cision

View original content: http://www.newswire.ca/en/releases/archive/August2023/24/c5367.html